Records and information management

RECORD KEEPING is the process of classifying, arranging and storing information so that it can be easily retrieved. Most offices today use both manual and electronic filing systems to store their information.

It is important that records be preserved in order to prevent them from getting torn, defaced, misplaced or lost. Records are retained so that they can be found years later. The length of time a record should be kept will be determined by the organisation’s policy.

There are two ways to organise a record keeping system. Record keeping systems may be centralised or decentralised. Decentralised files are stored in different places, either near the persons who use them often or where they fit best in each office. Centralised files are located in one area. This is where all information of a company is stored and managed either manually or electronically or by using a combination of both methods.

The essential steps for filing are: inspecting, indexing, coding, sorting and storing. Sometimes cross-referencing is also done. Inspecting – Review each record to determine whether it should be filed.

Indexing – Decide on a caption for the record. A caption is a name, a letter, or a number under which a record is filed. Indexing is really a mental process that requires you to make a decision about file placement.

Coding – Once you have decided on a caption for the record to be filed, you must assign a code to the record before filing it. With a record in paper form, coding is done by underlining or highlighting the name under which the record will be filed. This underlining or highlighting will also serve as a reminder to anyone who might be using the record and refiling it in the future. Sorting – Once you have properly coded the records to be filed, you are ready to sort them. Arrange them in the order in which they will be placed in the file.

Storing – Storing involves placing a record in a file folder in a proper file drawer if you are using a manual system, or choosing the proper commands to save a record in an electronic filing system.

Cross-referencing – After indexing and coding, you will determine whether a document may be filed and recalled under different captions. If this is so, a cross reference sheet showing alternative locations for finding the document must be prepared or a photocopy of the original document is placed in the alternative location(s).

FILING SYSTEMS AND METHODS

Filing systems can be arranged in a variety of ways, but there are several considerations to be taken into account in choosing a filing system. It must be: Quick and simple to operate. Easily accessible, i.e., the cabinets must be conveniently situated, and the files within the cabinets easy to locate.

Suitable for the particular type of correspondence dealt with; the size, volume and nature of the correspondence must be considered. Organised to hold current papers only. Capable of expansion, if required. Appropriate in size – not using unnecessary space.

METHODS OF CLASSIFICATION

In any record-keeping system, there are four major methods that can be used to organise the information. The alphabetic method is the most widely used method because most information can be easily managed in this way. Other recordkeeping methods are – numeric, subject, geographic and electronic; all use the alphabetic method as a part of their system.

1. ALPHABETIC

Where the files contain mainly correspondence with individuals and with other organisations, this is the simplest and most logical classification method to adopt. Each file is given a name, usually the name of the person or organisation to which it relates. The files are kept in alphabetical order. Each drawer or shelf of the filing cabinet is labelled: A-E, F-H, and so on.

ADVANTAGES OF THE ALPHABETICAL SYSTEM ARE:

It is simple to understand and operate. Related documents can be conveniently grouped.

It is suitable for incorporating miscellaneous papers.

DISADVANTAGES OF THE ALPHABETICAL SYSTEM ARE:

Confusion may arise with common names. It is difficult to estimate space requirements.

It is difficult to operate in a large organisation.

It is necessary to cross reference because some documents may be found under more than one heading.

2. NUMERICAL

Records can sometimes be retrieved faster if they are filed by number rather than by name or subject. For example, a bank has many customers, and some of these customers may have savings accounts as well as chequing accounts, mortgages, and personal loans. Rather than combine all the records of an individual in one file under that customer’s name, a bank would file them according to the account numbers.

Filing numerically provides several advantages. This method is very useful when the records themselves are numbers. Also, unlimited numbers of new files can be added without running out of captions. Confidential records can be thoroughly safeguarded.

3. SUBJECT

Storing and managing information by subject means that the subjects of documents are more important to the office than the names on them. In subject files, information is filed alphabetically by subject. For example, a main file labelled ‘Contracts’ would be filed before a file labelled ‘Legal Cases’.

Subject files can be subdivided into categories to allow for more efficient storage and retrieval. For example, a main subject file labelled ‘Insurance’ may have subcategories ‘Fire’, ‘Theft’, ‘Accident’, and so on.

4. GEOGRAPHIC

Geographic filing is useful when the information to be stored applies to a particular location (country, region, or town). First, break categories down into the most important geographic divisions for your company’s operations. Divide these into subdivisions, then alphabetise within each subdivision.

5. ELECTRONIC

Electronic record is any record that is created, used, maintained, transmitted, and disposed of in electronic form. Such records may be stored in computer memory or on flash drive.

Records maintained on electronic record storage systems are more susceptible to alteration, loss, and unauthorised access and disclosure of information than records stored in other forms. As a result, a specific set of procedures must be included in the overall records management programme to ensure the security, accuracy, and accessibility of the records.

Next week, I will look at other aspects of records and information management. Have a good week.